JOHN M. REPINE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, Disriplinary Proceeding No. E0420030634-04 v. Hearing Officer- Sara Nelson Bloom JOHN M. REPINE (CRD No. 1010844), Hearing Panel Decision Respondent. February 21, 2008 For engaging in deception to facilitate market timing transactions, in violation of Rule 2110, and for failing to respond truthfully to requests for information and documents, in violation of Rules 8210 and 2110,
Reference E042003063404data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1010844 |
Other names1
Also known as1
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